Ian L. Hollander
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ian Lee Hollander, who also goes by Ian Hollander, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 2010. Ian had worked at 7 firms and has passed the Series 66, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2011 - October 24, 2022
TRUIST SECURITIES, INC.
April 28, 2011 - August 3, 2011
UBS FINANCIAL SERVICES INC.
April 27, 2011 - August 3, 2011
UBS FINANCIAL SERVICES INC.
March 17, 2011 - May 2, 2011
INTL ADVISORY CONSULTANTS INC.
March 11, 2011 - May 2, 2011
STERNE, AGEE & LEACH, INC.
November 30, 2010 - February 14, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 30, 2010 - February 14, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 20, 2010 - November 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2010 - November 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/16/2013
Limited Representative-Equity Trader ExamCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
